Office Inspection Analyst

Jobtailor; Deutschland; Hybrid; EUR 65.000 - 95.000; Vollzeit

Zusammenfassung

Jobtailor is seeking a detail-oriented Compliance Inspector to conduct on-site and virtual examinations of RIA and BD branch offices. You will review operations, supervise activities, marketing, client communications, and office controls to ensure adherence to SEC, FINRA, and firm policies.

Responsibilities include documenting findings, classifying risk, coordinating corrective actions, and tracking remediation.

Qualifikationen

• Bachelor's degree or equivalent industry experience is required.
• Excellent written and verbal communication skills are essential.
• Strong organizational, analytical, and investigative abilities.
• 3+ years in compliance, supervision, branch examinations, regulatory audits, or financial services operations.

Aufgaben

• Conduct scheduled and risk-based onsite and virtual inspections of RIA and BD branch offices.
• Review branch operations, books and records, supervision practices, marketing activities, client communications, and office controls.
• Evaluate compliance with SEC, FINRA, firm policies, and Written Supervisory Procedures (WSPs).
• Review branch personnel activities for adherence to regulatory and firm requirements.
• Prepare detailed inspection reports and track inspection metrics.

Kenntnisse

Communication skills

Analytical skills

Organizational skills

Investigative skills

Ausbildung

Bachelor's degree or equivalent

Tools

Series 7

Series 66

Series 24

Jobbeschreibung

• Conduct scheduled and risk-based onsite and virtual inspections of RIA and BD branch offices
• Review branch operations, books and records, supervision practices, marketing activities, client communications, and physical office controls
• Evaluate compliance with SEC, FINRA, firm policies, and Written Supervisory Procedures (WSPs)
• Review branch personnel activities for adherence to regulatory and firm requirements
• Assess procedures relating to advertising, correspondence, social media, books & records, OBA, PST, gifts & entertainment, and client documentation
• Verify regulatory disclosures, registrations, and licensing requirements
• Complete inspection workpapers and supporting documentation
• Identify compliance, supervisory, operational, and reputational risks
• Document findings, observations, and recommendations
• Classify deficiencies according to risk ratings and escalation requirements
• Coordinate corrective action plans with branch management and advisors
• Monitor remediation and validate corrective action completion
• Escalate significant findings, repeat deficiencies, and high-risk concerns
• Prepare detailed inspection reports
• Track inspection metrics, recurring deficiencies, and emerging risk trends
• Assist with risk assessments determining inspection frequency and scope
• Gather and analyze documentation, communications, and transaction history
• Partner with Supervision, Legal, and leadership to assess risk and determine outcomes

Requirements

• Active series 7, 66, and 24
• Bachelor's degree or equivalent industry experience
• 3+ years of experience in compliance, supervision, branch examinations, regulatory audits, or financial services operations
• Strong knowledge of SEC, FINRA, and state regulatory requirements
• Experience conducting reviews, audits, inspections, or testing activities
• Excellent written and verbal communication skills
• Strong organizational, analytical, and investigative skills
• Ability to manage multiple projects and deadlines independently
• Willingness to travel for onsite branch inspections
• Ability to stand or sit for long periods of time, file documents in high or low cabinets, use the telephone, and use computer systems

Core Competencies

Demonstrates expertise in conducting compliance inspections and audits, with a strong understanding of SEC, FINRA, and state regulatory requirements. Proficient in evaluating branch operations, documenting findings, and coordinating corrective actions to mitigate risks.

Highest-signal resume keywords

• Active Series 7
• Active Series 66
• Active Series 24
• Compliance Inspections
• Regulatory Audits

ATS Optimization Keywords

Hard Skills

• Branch Examinations
• Regulatory Compliance
• Risk Assessment
• Inspection Reporting
• Document Analysis
• Operational Risk Evaluation
• Supervisory Practices Review
• Audit Procedures
• Client Communication Review
• Corrective Action Planning

Soft Skills

• Excellent Written Communication
• Excellent Verbal Communication
• Strong Organizational Skills
• Analytical Skills
• Investigative Skills

Certifications & Qualifications

• Bachelor's Degree
• Equivalent Industry Experience

Industry Keywords

• SEC Regulations
• FINRA Regulations
• Written Supervisory Procedures
• Compliance Risk
• Operational Risk
• Reputational Risk
• Branch Operations
• Marketing Activities
• Client Documentation
• Inspection Metrics